Central Emergency Response Fund Guidelines

Transcription

1 Central Emergency Response Fund Guidelines No Cost Extensions, Reprogramming and Redeployment of Funds 1 A. OVERVIEW For grants from the rapid response window, CERF funds must be expended and activities completed within six months from the date of disbursement of CERF funds from the UN Secretariat to the agency Headquarters. In cases where agencies have had to begin expensing funds before this date in order to meet urgent priorities, the agency may specify an earlier start date, not exceeding six weeks prior to the disbursement date and not before the onset of the emergency. For grants from the underfunded window, CERF funds must be expended by 31 December of the calendar year for grants disbursed during the first underfunded round and by 30 June of the following year for grants disbursed during the second round. Project extensions are usually not allowed except in exceptional circumstances, if the reasons for the inability to implement are clearly documented to be outside of the control of the recipient agency. Compelling reasons for project extensions include, but are not limited to, unforeseen and increased access restrictions, unforeseen changes in government policy, or a fundamental change in the socio-political climate underpinning the application for CERF funds. According to CERF rules and regulations, CERF funds generally cannot be re-programmed given the fact that they are bound by specific proposals which have been approved based on analysis of the situation as detailed in the original application package. On an exceptional basis, and due to external circumstances, the Emergency Relief Coordinator (ERC) may approve changes within existing projects. Requests need to be submitted by the Resident/Humanitarian Coordinator (RC/HC) to the ERC explaining and justifying the changes and ensuring that the life-saving mandate of the CERF is respected. B. GUIDELINES No Cost Extensions A request for a project extension must be submitted by the RC/HC on behalf of the recipient agency prior to the end of the implementation period (as defined by the Umbrella Letter of Understanding, LOU). The request must be submitted as a formal letter to the ERC, copied to the CERF Secretariat, and include the grant number, the reason for not committing (i.e. obligating) all funds by the deadline, and any requested changes to project scope and activities. 1 These guidelines supersede guidelines approved by Steve O Malley, Chief of CERF Secretariat, on 16 October 2009.

2 In addition to providing a clear and well-documented justification, the RC/HC s letter should be accompanied by a CERF No-Cost Extension and/or Reprogramming Request Form 2 (see Annex I) completed by the requesting agency. If the situation affects more than one CERF project implemented by different agencies, the request for project extensions or reprogramming must come in a consolidated letter from the RC/HC. The ERC's decision will be communicated in writing. If the ERC finds that the request is not adequately substantiated, or if the proposed revised commitment period is found not to be feasible, the remaining funds will need to be returned in accordance with the Umbrella LoU. Extensions are usually not given if it becomes evident that the project is arrested indefinitely. Requests for no-cost extensions must be submitted by the RC/HC to the ERC a minimum of 10 days prior to the project end date. Retroactive extensions will not be accepted. Reprogramming In the case of important changes of scope (target beneficiaries, sector, activities, or geographic area) affecting the intended objective or targets of the project approved by the ERC, recipient agencies must submit a request to CERF Secretariat through the RC/HC. The RC/HC s should include the CERF No-Cost Extension and/or Reprogramming Request Form (see Annex I) completed by the agency, as well as his/her endorsement of the change in scope. Prior approval by the ERC and/or CERF Secretariat must be given prior to the change. The ERC will then decide either to ask the agency to return unused funds and if required, to prepare another grant request for the new emerging situation, or to consider the changes within the existing scope and intent of the original request. The ERC may approve changes within existing projects on a very exceptional basis, and due to external circumstances affecting project implementation. Redeployment of Funds A formal request for redeployment of funds must be sent by the agency to the ERC through the RC/HC when the adjustment pertains to a cumulative shift of more than 15 percent between budget categories 3 of the direct project costs or any change to staff costs or programme support costs. Approval of the entire budget change must be requested from the ERC prior to implementation of the change. In these cases a letter should be sent to the CERF Secretariat (with the RC/HC in copy) explaining the reasons for this modification, and including the CERF Redeployment of Funds Request Budget Template 4 (see Annex II) reflecting the suggested changes. If the budget modification accompanies a change in project scope or necessitates a no-cost extension, the agency must follow procedures outlined above. Approved by: Steve O Malley Approved date: 21 November 2011 Contact: CERF Secretariat 2 The Word form is available online at cerf.un.org or upon request at cerf@un.org 3 Budget categories for CERF applications follow the Multi-Donor Trust Fund budget format and include: A. Supplies/commodities/equipment/transport; B. Personnel; C. Training of counterparts; D. Contracts; and E. Other direct costs. 4 The Excel template is available online at cerf.un.org or upon request at cerf@un.org 2

3 ANNEX I: CERF No-Cost Extension & Reprogramming of Funds Request Form (Available in Word format at or upson request at CERF No-Cost Extension and/or Reprogramming Request Form Agencies requesting a no-cost extension must complete this form a minimum of 10 days prior to the project end date. Agencies must request a reprogramming and receive approval prior to implementing the change. Instructions: A request for a No-Cost Extension or Reprogramming of Activities must be submitted and endorsed by the RC/HC to the ERC on behalf of the recipient agency. Requests should be copied to the CERF Secretariat (cerf@un.org). No-Cost Extension Request Contact Details Date of Request: Requester s Name/Job Title: Requester s Reprogramming Request Project Details Project Title: CERF Project Code: Date of Disbursement from CERF 5 : Project Allocation: US$ CERF Expenditures to date: US$ Extension Request Details Original Project Completion Date 6 : Requested Completion Date: Justification/Explanation for a No-Cost Extension and/or Reprogramming of Activities Please explain in detail why the allocation could not be used as approved by the ERC. For NCE, please note why activities could not be completed or funds expended within the implementation period (i.e. access, capacity, other factors). For reprogramming, please note why funds could not be spent as originally intended. Please explain what objectives, as stated in project proposal, have been achieved to date and how a no-cost extension or reprogramming will affect activity implementation. Please explain if/how the activities or targets will change as defined in the original allocations with a no-cost extension or reprogramming. 5 Approval and disbursement dates can be found on the CERF website in the specific country page: US/Default.aspx 6 Project completion date for Rapid Response grants is six months after disbursement date unless otherwise specified in the final project proposal. For Underfunded grants approved in the first round (Jan-Mar) the date is 31 December of the same year while projects approved in the second round (Jul-Sep) is 30 June of the following year. 3

4 ANNEX II: CERF Redeployment of Funds Request Budget Template (Available in Excel format at or upon request at COLOUR CODING Project Title Automatic Calculated Fields (locked) Project Code Automatic Calculated Fields (but also open for manual input) Agency User Input Fields Country Locked Fields Date Cumulative % change as of original subtotal: 0% Redeployment to or from staff cost? (Yes/No) 12. CERF Project Budget Redeployment to or from PSC? (Yes/No) Please use the template without modifying the section headings. Wherever possible and relevant please provide a detailed breakdown of items (unit, quantity, unity costs) and costs for each budget line for the CERF component of the project. Where breakdown of unit, quantity and unit cost is unavailable or unnecessary, please enter total amount of the item along with sufficient description of cost content. Please add additional rows, as needed. Original Budget Lines Cost Breakdown Amended Budget Lines Cost Breakdown Variance (Amended - Original) Total Unit Quantity Unit Cost Total (USD) Unit Quantity Unit Cost USD % (USD) A. Supplies/commodities/equipment/transport (please itemize expendable A. Supplies/commodities/equipment/transport (please itemize expendable operational inputs (e.g. quantity of food, medical supplies etc and asset operational inputs (e.g. quantity of food, medical supplies etc and asset purchases) purchases) % of variance against orginal Subtotal Sub-Total A: $0.00 Sub-Total A: $0.00 $0.00 #DIV/0! B. Personnel (staff, consultants, travel) (please itemize travel costs, salaries and entitlements of UN staff and consultants) B. Personnel (staff, consultants, travel) (please itemize travel costs, salaries and entitlements of UN staff and consultants) Sub-Total B: $0.00 Sub-Total B: $0.00 $0.00 #DIV/0! 4

5 C. Training of counterparts C. Training of counterparts Sub-Total C: $0.00 Sub-Total C: $0.00 $0.00 #DIV/0! D. Contracts (please list and provide general cost breakdown for each implementing partner) D. Contracts (please list and provide general cost breakdown for each implementing partner) Sub-Total D: $0.00 Sub-Total D: $0.00 $0.00 #DIV/0! E. Other Direct costs E. Other Direct costs Sub-Total E: $0.00 Sub-Total E: $0.00 $0.00 #DIV/0! Subtotal project requirements Subtotal project requirements Subtotal project requirements amount $0 Subtotal project requirements amount $0 $0 Indirect programme support costs (PSC) (not to exceed 7% of subtotal project costs) Indirect programme support costs (PSC) (not to exceed 7% of subtotal project costs) PSC rate (Insert PSC percentage, max 7.00%) 0.00% PSC rate (Insert PSC percentage, max 7.00%) 0.00% 0.00% PSC amount $0 PSC amount $0 $0 Total CERF project cost $0 Total CERF project cost $0 $0 5